Draft Regulations laid before the National
Assembly for Wales under section 187(2)(b),(f),(g),(j),(k) and (w)
of the Regulation and Inspection of Social Care (Wales) Act 2016,
for approval by resolution of the National Assembly for Wales.

These Regulations are made under the Regulation
and Inspection of Social Care (Wales) Act 2016 and set out the
regulatory requirements and related provision for providers of
regulated advocacy services and for those persons who are
designated as the “responsible individuals” for such
services.

The Regulations are divided into 18 Parts
dealing with different aspects of the requirements. Regulation 2 in
Part 1 defines the sorts of advocacy service which fall to be
regulated under the Regulation and Inspection of Social Care
(Wales) Act 2016.

Part 2 sets out the general requirements on
service providers. This includes requirements in relation to the
statement of purpose, the arrangements for monitoring and
improvement, the support to be provided to the responsible
individual, the steps to be taken to ensure financial
sustainability and the policies and procedures which must be in
place.

Regulation 11 in Part 3 requires providers to
determine that their service is suitable to meet the
individual’s needs before taking on an individual.

Part 4 requires service providers to prepare a
plan and keep it under review for the period that they are
providing a service to an individual.

Part 5 requires providers to give each person
who uses the service a written guide and to local authorities who
commission services. Part 6 sets requirements on services providers
about the standard of the services which they must provide.

Part 7 requires service providers to ensure the
individuals are safe and protected from abuse, neglect and improper
treatment. Part 8 requires service providers to employ staff who
are fit and prescribes what fitness means for these purposes.

Part 9 requires providers to have premises
which are fit for the purpose and that facilities and equipment
used meet the same standard. Part 10 sets a number of other
requirements that service providers maintain the prescribed
records, notify the regulator of prescribed events, manage
conflicts of interest, have complaints procedures and a
whistleblowing policy.

Parts 11 to 15 set the requirements which apply
to responsible individuals. These include the duty to appoint a
manager for the service, to supervise the management of the
service, to ensure compliance with regulatory requirements and to
monitor, review and improve the quality of the service.

Part 16 sets out those regulations whose breach
amounts to an offence and which therefore create criminal liability
for service providers and for responsible individuals.

Part 17 sets out specific requirements which
apply when the service provider is insolvent or when a service
provider who is an individual has died. In these circumstances, the
regulations in this Part place specific notification duties on the
appointed person (in the case of insolvency) or the personal
representatives (in the case of the death of a service provider who
is an individual). Regulation 58 enables the personal
representatives to act in the capacity of the service provider and
the Act is modified so that in these circumstances the personal
representatives are not required to register and one of the
personal representatives can be designated as the responsible
individual in respect of a place where the service is provided.

Part 18 (regulation 59) specifies the
circumstances in which the Welsh Ministers (instead of a service
provider) may designate an individual to be a responsible
individual, despite the eligibility requirements of section 21(2)
of the Act not being met in respect of the individual. This
regulation is made under section 21(5) of the Act.

The Welsh Ministers’ Code of Practice on
the carrying out of Regulatory Impact Assessments was considered in
relation to these Regulations. As a result, a regulatory impact
assessment has been prepared as to the likely costs and benefits of
complying with these Regulations. A copy can be obtained from the
Department of Health and Social Services, Welsh Government, Cathays
Park, Cardiff, CF10 3NQ.

Draft Regulations laid before the National
Assembly for Wales under section 187(2)(b),(f),(g),(j),(k) and (w)
of the Regulation and Inspection of Social Care (Wales) Act 2016,
for approval by resolution of the National Assembly for Wales.

7.
Requirements in relation to the responsible individual where the
service provider is an individual

8.
Requirements in relation to the financial sustainability of the
service

9.
Requirements to provide the service in accordance with policies and
procedures

10. Duty of candour

PART 3

Requirements on service providers as to the
steps to be taken before agreeing to provide advocacy

11. Suitability of the
service

PART 4

Requirements on service providers as to the
steps to be taken on commencement of provision of advocacy

12. Advocacy plan

13. Review of advocacy
plan

14. Records of advocacy
plans

PART 5

Requirements on service providers as to the
information to be provided to individuals on commencement of
provision of advocacy

15. Information about
the service

PART 6

Requirements on service providers as to the
standard of advocacy to be provided

16. Standards of
advocacy – overarching requirements

17. Language and
communication

18. Respect and
sensitivity

19. Confidentiality

PART 7

Requirements on service providers –safeguarding

20. Safeguarding –
overarching requirement

21. Safeguarding
policies and procedures

22. Interpretation of
Part 7

PART 8

Requirements on service providers as to
staffing

23.
Staffing – overarching
requirements

24. Fitness of staff

25. Supporting and
developing staff

26. Compliance with
employer’s code of practice

27. Information for
staff

28. Disciplinary
procedures

PART 9

Requirements on service providers as to
premises

29. Overarching
requirement

30. Premises

PART
10

Other requirements on service providers

31. Records

32. Notifications

33. Conflicts of
interest

34. Complaints policy
and procedure

35. Whistleblowing

PART
11

Requirements on responsible individuals for
ensuring effective management of the service

36. Supervision of
management of the service

37. Duty to appoint a
manager

38. Fitness requirements
for appointment of manager

39. Restrictions on
appointing manager for more than one service

40. Duty to report the
appointment of manager to service provider

41. Duty to report
appointment of manager to the workforce and service regulators

42. Arrangements when
manager is absent

43. Visits

PART 12

Requirements on responsible individuals for
ensuring effective oversight of the service

44. Oversight of
adequacy of resources

45. Other reports to the
service provider

46. Engagement with
individuals and others

PART
13

Requirements on responsible individuals for
ensuring the compliance of the service

47. Duty to ensure there
are systems in place to record incidents and complaints

48. Duty to ensure there
are systems in place for keeping of records

49. Duty to ensure
policies and procedures are up to date

PART
14

Requirements on responsible individuals for
monitoring, reviewing and improving the quality of the service

50. Quality of care
review

51. Statement of
compliance with the requirements as to standards of advocacy

PART
15

Other requirements on responsible
individuals

52. Support for staff
raising concerns

53. Duty of candour

54. Notifications

PART
16

Offences

55. Offences –
service providers

56. Offences –
responsible individuals

PART
17

Service providers who are liquidated etc. or who
have died

57. Appointment of
liquidators etc.

58. Death of service
provider

PART
18

Regulations under section 21(5) of the Act

59. Designation of
responsible individual by Welsh Ministers

SCHEDULE
1

PART 1 – Information and
documents to be available in respect of persons working in the
service

PART 2 – Interpretation of
Part 1

SCHEDULE
2 — Records to be kept

SCHEDULE
3 — Notifications by the service
provider
SCHEDULE
4
—
Notifications by the responsible individual

In exercise of the powers conferred by sections
2(3), 21(5), 27, 28, 30, 31, 45, 46, 186(1) and 187(1) of, and
paragraph 7(1) of Schedule 1 to, the Regulation and Inspection of
Social Care (Wales) Act 2016([1]) the Welsh
Ministers make the following Regulations.

The Welsh Ministers, as required by sections
27(4)(a) and 28(4) of that Act, have consulted such persons as they
think appropriate and published a statement about the consultation
as required by section 27(4)(b) of that Act. The Welsh Ministers
have laid the statement before the National Assembly for Wales as
required by section 27(5) of that Act. The Welsh Ministers have
also carried out a consultation in accordance with the requirement
in paragraph 7(5) of Schedule 1 to that Act.

A draft of these Regulations was laid before the
National Assembly for Wales under section 187(2)(b), (f), (g), (j),
(k) and (w) of that Act and has been approved by a resolution of
the National Assembly for Wales.

PART 1

General

Title, commencement and interpretation

1.—(1)(1) The title of these
Regulations is the Regulated Advocacy Services (Service Providers
and Responsible Individuals) (Wales) Regulations 2019.

“advocacy”
(“eiriolaeth”) means assistance given to help a
person represent their views;

“advocacy plan” (“cynllun
eirioli”) means the plan prepared by the service provider
in relation to an individual in accordance with regulation 12;

“child”
(“plentyn”) means a person who is aged under
18;

“DBS” (“GDG”) or
“the Disclosure and Barring Service” (“y
Gwasanaeth Datgelu a Gwahardd”) mean the body
established by section 87(1) of the Protection of Freedoms Act
2012([2]);

“DBS certificate”
(“tystysgrif GDG”) means a certificate of a type
referred to in paragraph 2 or 3 of Schedule 1;

“individual”
(“unigolyn”), except where the context otherwise
requires, means a person for whom the service provider is
providing, or has provided advocacy, or for whom the service
provider may provide advocacy;

“representative”
(“cynrychiolydd”) means any person having legal
authority, or having the consent of the individual to act on the
individual’s behalf;

“service”
(“gwasanaeth”) means an advocacy service as
defined in regulation 2 which is provided in relation to a
specified area;

“service commissioner”
(“comisiynydd y gwasanaeth”) means a local
authority which is responsible for making arrangements with a
service provider for the provision of assistance to a child or
person under section 178(1) of the 2014 Act([3]);

“service provider”
(“darparwr gwasanaeth”) means an advocacy
service provider who is registered under section 7 of the Act;

“specified area” (“ardal
benodedig”) means an area which is specified in a
condition to the service provider’s registration as a place
in relation to which the service is to be provided;

“statement of purpose”
(“datganiad o ddiben”) means the statement of
purpose for the service which a service provider must keep under
review and revise in accordance with regulation 4([5]).

Definition and exceptions

2.—(1)(1) For the purpose of
paragraph 7(1) of Schedule 1 to the Act, an advocacy service
is—

(a) a
service carried on to provide advocacy for children who make or
intend to make representations which fall within section 174 of the
2014 Act([6]); or

(b) a
service carried on to provide advocacy for persons who make or
intend to make representations which fall within section 176 of the
2014 Act([7]),

where the purpose of the advocacy is to represent the
views of the children or persons or to assist them to represent
their views in relation to their needs for care and
support([8]).

(2) But a service referred to
in paragraph (1) is not an advocacy service—

(a) if
it is provided by a person in the course of a legal activity within
the meaning of the Legal Services Act 2007([9]) by a person who
is—

(i) an
authorised person for the purposes of that Act, or

(ii) a European
lawyer (within the meaning of the European Communities (Services of
Lawyers) Order 1978([10]));

(b) if
the assistance is provided by a Welsh family proceedings officer in
the course of discharging functions in relation to family
proceedings;

(c) if
the assistance is provided by the Children’s Commissioner for
Wales or by a member of staff of the Children’s Commissioner
for Wales;

(d) if
it is provided by a person who has not provided and does not intend
to provide advocacy to more than 4 persons within any 12 month
period;

(e) to
the extent that it is provided by a relative or friend of the
person on whose behalf representations are made or are intended to
be made.

(3) In this
regulation—

(a) the
following words and phrases have the meanings ascribed to
them—

(i)
“relative” means a parent or other person with parental
responsibility, brother, sister, uncle or aunt (whether by marriage
or civil partnership), grandparent, step-parent, foster parent or
prospective adopter with whom the child is placed;

(ii)
“family proceedings” has the meaning given by section
12 of the Criminal Justice and Court Services Act 2000([11]);

(iii)
“Welsh family proceedings officer” has the same meaning
as in section 35(4) of the Children Act 2004([12]);

(iv)
“sibling group” includes both brothers and sisters and
half-brothers and half-sisters; and

(b) in
determining whether a person has provided or intends to provide an
advocacy service to more than 4 persons for the purpose of
paragraph (2)(d), provision of advocacy to a sibling group is
counted as provision of advocacy to a single person.

PART 2

General requirements on service providers

Requirements in relation to the provision of the
service

3. The service
provider must ensure that the service is provided with sufficient
care, competence and skill, having regard to the statement of
purpose.

Requirements in relation to the statement of
purpose

4.—(1)(1) The service provider
must provide the service in accordance with the statement of
purpose.

(2) The service provider
must—

(a) keep
the statement of purpose under review, and

(b)
where appropriate, revise the statement of purpose.

(3) Unless paragraph (4)
applies, the service provider must notify the persons listed in
paragraph (6) of any revision to be made to the statement of
purpose at least 28 days before it is to take effect.

(4) This paragraph applies in
cases where it is necessary to revise the statement of purpose with
immediate effect.

(5) If paragraph (4) applies,
the service provider must, without delay, notify the persons listed
in paragraph (6) of any revision made to the statement of
purpose.

(6) The persons who must be
notified of any revision to the statement of purpose in accordance
with paragraph (3) or (5) are—

(a) the
service regulator,

(b) the
individuals,

(c)
service commissioners, and

(d) any
representative, unless it is not appropriate to do so or would be
inconsistent with the well-being of an individual.

(7) The service provider must
provide the up todate statement of purpose to any person on
request, unless it is not appropriate to do so or would be
inconsistent with the well-being of an individual.

Requirements in relation to monitoring and
improvement

5.—(1)(1) The service provider
must ensure that there are effective arrangements in place for
monitoring, reviewing and improving the quality of the advocacy
provided.

(2) Those arrangements must
include arrangements for seeking views of—

(a)
individuals,

(b) any
representatives, unless this is not appropriate or would be
inconsistent with the individual’s well-being,

(c)
service commissioners, and

(d)
staff,

on the quality of the advocacy provided by the
service and how this can be improved.

(3) When making any decisions
on plans for improvement of the quality of the advocacy, the
service provider must—

(a) take
into account the views of those persons consulted in accordance
with paragraph (2), and

(b) have
regard to the quality of service report prepared by the responsible
individual in accordance with regulation 50(4).

Requirements in relation to the responsible
individual

6.—(1)(1) This regulation does
not apply to a service provider who is an individual.

(2) A service provider to
whom this regulation applies must ensure that the person who is
designated as the responsible individual—

(a) is
supported to carry out their duties effectively; and

(b)
undertakes appropriate training.

(3) In the event that the
service provider has reason to believe that the responsible
individual has not complied with a requirement imposed by the
regulations 36 to 54, the provider must—

(a) take
such action as is necessary to ensure that the requirement is
complied with; and

(b)
notify the service regulator.

(4) During any time when the
responsible individual is unable to fulfil their duties, the
service provider must ensure that there are arrangements in place
for—

(a) the
effective management of the service,

(b) the
effective oversight of the service,

(c) the
compliance of the service with the requirements of the regulations
in Parts 3 to 15, and

(d)
monitoring, reviewing and improving the quality of the advocacy
provided.

(5) If the responsible
individual is unable to fulfil their duties for a period of more
than 28 days, the service provider must—

(a)
notify the service regulator; and

(b)
inform the service regulator of the interim arrangements made to
comply with paragraph (4).

Requirements in relation to the responsible
individual where the service provider is an individual

7.—(1)(1) This regulation
applies where the service provider is an individual.

(2) If this regulation
applies, the individual must undertake appropriate training for the
proper discharge of the individual’s duties as the
responsible individual.

(3) During any time when the
individual is absent, the individual must ensure that there are
arrangements in place for—

(a) the
effective management of the service,

(b) the
effective oversight of the service,

(c) the
compliance of the service with the requirements of the regulations
in Parts 3 to 15, and

(d)
monitoring, reviewing and improving the quality of the advocacy
provided by the service.

(4) If the individual is
unable to fulfil their duties as a responsible individual for a
period of more than 28 days, the individual must—

(a)
notify the service regulator; and

(b)
inform the service regulator of the interim arrangements made to
comply with paragraph (3).

Requirements in relation to the financial
sustainability of the service

8.—(1)(1) The service provider
must take reasonable steps to ensure that the service is
financially sustainable for the purpose of achieving the aims and
objectives set out in the statement of purpose.

(2) The service provider must
maintain appropriate and up to date accounts for the service.

(3) The service provider must
provide copies of the accounts to the Welsh Ministers within 28
days of being requested to do so.

(4) The Welsh Ministers may
require accounts to be certified by an accountant.

Requirements to provide the service in accordance
with policies and procedures

9.—(1)(1) The service provider
must ensure that the following policies and procedures are in place
for the service—

Commencement of the service (see Part 3, regulation
11)

Confidentiality (see Part 6, regulation 19)

Safeguarding (see Part 7, regulation 21)

Staff support and development (see Part 8, regulation
25)

Staff discipline (see Part 8, regulation 28)

Complaints (see Part 10, regulation 34)

Whistleblowing (see Part 10, regulation 35).

(2) The service provider must
have such other policies and procedures in place as are reasonably
necessary to support the aims and objectives of the service.

(3) The service provider must
ensure that the content of the policies and procedures which are
required to be in place by virtue of paragraphs (1) and (2)
is—

(a)
appropriate to the needs of individuals for whom advocacy is
provided,

(b)
consistent with the statement of purpose, and

(c) kept
up-to-date.

(4) The service provider must
ensure that the service is provided in accordance with those
policies and procedures.

Duty of candour

10. The service
provider must act in an open and transparent way with—

(a)
individuals,

(b) any
representatives of those individuals.

PART
3

Requirements on service providers as to the
steps to be taken before agreeing to provide advocacy

Suitability of the service

11.—(1)(1) The service provider
must not provide advocacy for an individual unless the service
provider has determined that the service is suitable to meet the
individual’s need for advocacy.

(2) The service provider must
have in place a policy and procedure on commencement of the
service.

(3) The determination under
paragraph (1) must take into account—

(a) the
individual’s views, wishes and feelings,

(b) any
risks to the individual’s well-being,

(c) any
reasonable adjustments which the service provider could make to
enable the individual’s advocacy needs to be met, and

(d) the
service provider’s policy and procedures on commencement of
the service.

(4) In making the
determination in paragraph (1), the service provider must involve
the individual and any representative. But the service provider is
not required to involve a representative if—

(a) the
individual is an adult or a child aged 16 or over and the
individual does not wish the representative to be involved; or

(b)
involving the representative would not be consistent with the
individual’s well-being.

PART 4

Requirements on service providers as to the
steps to be taken on commencement of provision of advocacy

Advocacy plan

12.—(1)(1) If the service
provider determines that the service is suitable to meet the needs
of the individual it must, as soon as reasonably practicable,
prepare a plan setting out—

(a) the
steps which are to be taken to assist the individual to make
representations; and

(b) any
steps to be taken to mitigate identified risks to the
individual’s well-being.

(2) When preparing the
advocacy plan the service provider must involve the individual and
any representative unless—

(a) the
individual is an adult or a child aged 16 or over and the
individual does not want the representative to be involved; or

(b)
involving the representative would not be consistent with the
individual’s well-being.

Review of advocacy plan

13.—(1)(1) The advocacy plan
must be reviewed as and when agreed between the service provider
and the individual.

(2) A review of an advocacy
plan must include a review of the extent to which the individual
has been able to represent the individual’s views or have
those views represented.

(3) When carrying out a
review under this regulation, the service provider must involve the
individual and any representative. But the service provider is not
required to involve a representative if—

(a) the
individual is an adult or a child aged 16 or over and the
individual does not wish the representative to be involved; or

(b)
involving the representative would not be consistent with the
individual’s well-being.

(4) Following the completion
of any review required by this regulation, the service provider
must consider whether the advocacy plan should be revised and
revise the plan as necessary.

Records of advocacy plans

14. The service
provider must—

(a) keep
a record of—

(i) the
advocacy plan and any revised plan, and

(ii) the
outcome of any review, and

(b) give
a copy of the advocacy plan and any revised plan to—

(i) the
individual,

(ii) any
representative, unless this is not appropriate or would be
inconsistent with the individual’s well-being.

PART 5

Requirements on service providers as to the
information to be provided to individuals on commencement of the
provision of advocacy

Information about the service

15.—(1)(1) The service provider
must prepare a written guide to the service.

(2) The guide must
be—

(a)
dated, reviewed at least annually and updated as necessary;

(b) in
an appropriate language, style, presentation and format, having
regard to the statement of purpose for the service;

(c)
given to all individuals who are receiving advocacy;

(d)
given to commissioning authorities; and

(e) made
available to others on request, unless this is not appropriate or
would be inconsistent with the well-being of an individual.

(3) The guide must contain
information about how to raise a concern or make a complaint.

(4) The service provider must
ensure that all individuals receive such support as is necessary to
enable them to understand the information contained in the
guide.

PART 6

Requirements on service providers as to the
standard of advocacy to be provided

Service standards

16.—(1)(1) The service provider
must ensure that advocacy is provided in a way which—

(a)
enables individuals to represent their views and to have those
views represented; and

(b)
protects, promotes and maintains the safety and well-being of
individuals.

(2) The service provider must
ensure that advocacy is provided to each individual in accordance
with the individual’s advocacy plan.

(3) The service provider must
ensure that the advocacy is provided in a way which—

(a)
maintains good personal and professional relationships with
individuals and staff; and

(b)
encourages and assists staff to maintain good personal and
professional relationships with individuals.

(4) If, as a result of a
change in the individual’s circumstances, the service
provider is no longer able to meet those needs, even after making
any reasonable adjustments, the provider must immediately give
written notification of this to the individual, any representative
and the service commissioner.

(5) The service provider must
consider whether an individual has needs for legal or other
specialist advice or assistance and take all reasonable steps to
obtain that advice or assistance.

Language and communication

17. The service
provider must take reasonable steps to meet the language and
communication needs of individuals.

Respect and sensitivity

18.—(1)(1) The service provider must
ensure that individuals are treated with respect and
sensitivity.

(2) This includes, but is not
limited to—

(a)
respecting the individual’s privacy and dignity;

(b)
promoting the individual’s autonomy and independence;

(c)
having regard to any relevant protected characteristics (as defined
in section 4 of the Equality Act 2010([13]))
of the individual.

Confidentiality

19.—(1)(1) The service provider
must respect the individual’s rights to confidentiality.

(2) The service provider must
have in place a policy about the right of individuals to
confidentiality, which also includes the circumstances when an
individual’s right to confidentiality may be over-ridden, and
must operate the service in accordance with the policy.

PART 7

Requirements on service providers
–safeguarding

Safeguarding - overarching requirement

20. The service
provider must provide the service in a way which ensures that
individuals are safe and are protected from abuse, neglect and
improper treatment.

Safeguarding policies and procedures

21.—(1)(1) The service provider
must have policies and procedures in place for—

(a) the
prevention of abuse, neglect and improper treatment, and

(b)
responding to any allegation or evidence of abuse, neglect or
improper treatment.

(2) In this regulation, such
policies and procedures are referred to as safeguarding policies
and procedures.

(3) The service provider must
ensure that its safeguarding policies and procedures are operated
effectively.

(4) In particular, where
there is an allegation or evidence of abuse, neglect or improper
treatment, the service provider must—

(a) act
in accordance with its safeguarding policies and procedures;

(b) take
immediate action to ensure the safety of all individuals for whom
advocacy services are provided;

(c) make
appropriate referrals to other agencies; and

(d) keep
a record of any evidence or the substance of any allegation, any
action taken and any referrals made.

Interpretation of Part 7

22. In this
Part—

“abuse”
(“camdriniaeth”) means physical, sexual,
psychological, emotional or financial abuse and, in relation to a
child, any other harm and for the purposes of this
definition—

(a)
“financial abuse” includes—

(i) having
money or other property stolen;

(ii) being
defrauded;

(iii) being put
under pressure in relation to money or other property;

(iv) having
money or other property misused;

(b)
“harm” has the same meaning as in section 197(1) of the
2014 Act;

“improper treatment”
(“triniaeth amhriodol”) includes discrimination
or unlawful restraint, including inappropriate deprivation of
liberty under the terms of the Mental Capacity Act 2005([14]);

“neglect”
(“esgeulustod”) has the same meaning as in
section 197(1) of the 2014 Act.

PART
8

Requirements on service providers as to
staffing

Staffing - overarching requirements

23. The service
provider must ensure that at all times a sufficient number of
suitably qualified, trained, skilled, competent and experienced
staff are deployed to work at the service, having regard to the
statement of purpose for the service.

Fitness of staff

24.—(1)(1) The service provider
must not—

(a)
employ a person under a contract of employment to work at the
service unless that person is fit do so;

(b)
allow a volunteer to work at the service unless that person is fit
to do so;

(c)
allow any other person to work at the service in a position in
which, in the course of duties, that person may, in the course of
carrying out duties, have regular contact with individuals or with
other persons who are vulnerable unless that person is fit to do
so.

(2) For the purposes of
paragraph (1), a person is not fit to work at the service
unless—

(a) the
person is of suitable integrity and good character;

(b) the
person has the qualifications, skills, competence and experience
necessary for the work that person is to perform;

(c) the
person is able by reason of their health, after reasonable
adjustments are made, of properly performing the tasks which are
intrinsic to the work for which that person is employed or
engaged;

(d) the
person has provided full and satisfactory information or
documentation, as the case may be, in respect of each of the
matters specified in Part 1 of Schedule 1 and this information or
documentation is available at the service for inspection by the
service regulator;

(e)
where the person is employed by the service provider to manage the
service, after 1 September 2022 the person is registered as a
social care manager with SCW([15]).

(3) An appropriate DBS
certificate must be applied for by, or on behalf of the service
provider, for the purpose of assessing the suitability of a person
for the post referred to in paragraph (1). But this requirement
does not apply if the person working at the service is registered
with the Disclosure and Barring Service update service (referred to
in this regulation as “the DBS update service”).

(4) Where a person being
considered for a post referred to in paragraph (1) is registered
with the DBS update service, the service provider must check the
person’s DBS certificate status for the purpose of assessing
the suitability of that person for that post.

(5) Where a person appointed
to a post referred to in paragraph (1) is registered with the DBS
update service, the service provider must check the person’s
DBS certificate status at least annually.

(6) Where a person appointed
to a post referred to in paragraph (1) is not registered with the
DBS update service, the service provider must apply for a new DBS
certificate in respect of that person within three years of the
issue of the certificate applied for in accordance with paragraph
(3) and thereafter further such applications must be made at least
every three years.

(7) If any person working at
the service is no longer fit to work at the service as a result of
one or more of the requirements in paragraph (2) not being met, the
service provider must—

(a) take
necessary and proportionate action to ensure that the relevant
requirements are complied with;

(b)
where appropriate, inform—

(i) the
relevant regulatory or professional body;

(ii) the
Disclosure and Barring Service.

Supporting and developing staff

25.—(1)(1) The service provider
must have a policy in place for the support and development of
staff.

(2) The service provider must
ensure that any person working at the service (including a person
allowed to work as a volunteer)—

(a)
receives an induction appropriate to their role;

(b) is
made aware of their own responsibilities and those of other
staff;

(c)
receives appropriate supervision and appraisal;

(d)
receives core training appropriate to the work to be performed by
them;

(e)
receives specialist training as appropriate;

(f)
receives support and assistance to obtain such further training as
is appropriate to the work they perform.

(3) The service provider must
ensure that any person employed to work at the service is supported
to maintain their registration with the appropriate regulatory or
occupational body.

Compliance with employer’s code of practice

26. The service
provider must adhere to the code of practice on the standards of
conduct and practice expected of persons employing or seeking to
employ social care workers, which is required to be published by
SCW under section 112(1)(b) of the Act.

Information for staff

27.—(1)(1) The service provider
must ensure that all persons working at the service (including any
person allowed to work as a volunteer) are provided with
information about the service and the way it is provided.

(2) The service provider must
ensure that there are arrangements in place to make staff aware of
any codes of practice about the standards of conduct expected of
social care workers, which is required to be published by SCW under
section 112(1)(a) of the Act.

Disciplinary procedures

28.—(1)(1) The service provider
must put in place and operate a disciplinary procedure.

(2) The disciplinary
procedure must include—

(a)
provision for the suspension, and the taking of action short of
suspension, of an employee, in the interests of the safety or
well-being of individuals;

(b)
provision that a failure on the part of an employee to report an
incident of abuse, or suspected abuse, to an appropriate person, is
grounds on which disciplinary proceedings may be instituted.

(3) For the purpose of
paragraph (2)(b), an appropriate person is—

(a) the
service provider,

(b) the
responsible individual,

(c) an
officer of the service regulator,

(d) an
officer of the local authority for the area in which the service is
provided,

(e) in
the case of an incident of abuse or suspected abuse of a child, an
officer of the National Society for the Prevention of Cruelty to
Children, or

(f)
a police officer.

PART 9

Requirements on service providers as to
premises

Overarching requirement

29. The service
provider must ensure that the premises, facilities and equipment
are suitable for the service, having regard to the statement of
purpose for the service.

Premises

30. The service
provider must ensure that the premises used for the operation of
the service have adequate facilities for the secure storage of
records.

PART 10

Other requirements on service providers

Records

31.—(1)(1) The service provider
must keep and maintain the records specified in Schedule 2 in
respect of each place at, from or in relation to which the service
is provided.

(2) The service provider
must—

(a)
ensure that records relating to individuals are accurate and up to
date;

(b) keep
all records securely;

(c) make
arrangements for the records to continue to be kept securely in the
event the service closes;

(d) make
the records available to the service regulator on request;

(e)
retain records relating to adults for three years from the date of
the last entry;

(f)
retain records relating to children for fifteen years from the date
of the last entry;

(g)
ensure that individuals who use the service—

(i) can have
access to their records; and

(ii) are made
aware they can access their records.

Notifications

32.—(1)(1) The service provider
must notify the service regulator of the events specified in
Schedule 3.

(2) The notifications
required by paragraph (1) must include details of the event.

(3) Unless otherwise stated,
notifications must be made without delay and in writing.

(4) Notifications must be
made in such manner and in such form as may be required by the
service regulator.

Conflicts of interest

33. The service
provider must have effective arrangements in place to identify,
record and manage conflicts of interest.

Complaints policy and procedure

34.—(1)(1) The service provider
must have a complaints policy in place and ensure that the service
is operated in accordance with that policy.

(2) The service provider must
have effective arrangements in place for dealing with complaints
including arrangements for—

(a)
identifying and investigating complaints;

(b)
giving an appropriate response to a person who makes a complaint,
if it is reasonably practicable to contact that person;

(c)
ensuring that appropriate action is taken following an
investigation;

(d)
keeping records relating to the matters in sub-paragraphs (a) to
(c).

(3) The service provider must
provide a summary of complaints, responses and subsequent action to
the service regulator within 28 days of being requested to do
so.

(4) The service provider
must—

(a)
analyse information relating to complaints and concerns; and

(b)
having regard to that analysis, identify any areas for
improvement.

Whistleblowing

35.—(1)(1) The service provider
must have arrangements in place to ensure that all persons working
at the service (including any person allowed to work as a
volunteer) are able to raise concerns about matters that may
adversely affect the health, safety or well-being of individuals
for whom the service is provided.

(2) These arrangements must
include—

(a)
having a whistleblowing policy in place and acting in accordance
with that policy; and

(b)
establishing arrangements to enable and support people working at
the service to raise such concerns.

(3) The provider must ensure
that the arrangements required under this regulation are operated
effectively.

(4) When a concern is raised,
the service provider must ensure that—

(a) the
concern is investigated;

(b)
appropriate steps are taken following an investigation;

(c) a
record is kept of both the above.

PART 11

Requirements on responsible individuals for
ensuring effective management of the service

Supervision of management of the service

36. The
responsible individual must supervise the management of the
service, which includes the specific requirements set out in this
Part.

Duty to appoint a manager

37.—(1)(1) The responsible
individual must appoint a person to manage the service. But this
requirement does not apply if the conditions in paragraph (2) or
(3) apply.

(2) The conditions
are—

(a) the
service provider is an individual;

(b) the
service provider proposes to manage the service;

(c) the
service provider is fit to manage the service;

(d)
subject to paragraph (6), the service provider is registered as a
social care manager with SCW; and

(e) the
service regulator agrees to the service provider managing the
service.

(3) The conditions
are—

(a) the
service provider is a partnership, body corporate or unincorporated
body;

(b) the
service provider proposes that the individual designated as the
responsible individual for the service is to be appointed to manage
the service;

(c) that
individual is fit to manage the service;

(d)
subject to paragraph (6), that individual is registered as a social
care manager with SCW; and

(e) the
service regulator agrees to that individual managing the
service.

(4) For the purposes of
paragraph (2)(c), the service provider is not fit to manage the
service unless the requirements of regulation 24(2) (fitness of
staff) are met in respect of the service provider.

(5) The duty in paragraph (1)
is not discharged if the person appointed to manage the service is
absent for a period of more than three months.

(6) The condition in
paragraphs (2)(d) and (3)(d) only applies after 1 September
2022.

Fitness requirements for appointment of manager

38.—(1)(1) The responsible
individual must not appoint a person to manage the service unless
that person is fit to do so.

(2) For the purposes of
paragraph (1), a person is not fit to manage the service unless the
requirements of regulation 24(2) (fitness of staff) are met in
respect of that person.

Restrictions on appointing manager for more than one
service

39.—(1)(1) The responsible
individual must not appoint a person to manage more than one
service, unless paragraph (2) applies.

(2) This paragraph applies
if—

(a) the
service provider has applied to the service regulator for
permission to appoint a manager for more than one service; and

(b) the
service regulator is satisfied that the proposed management
arrangements—

(i) will not
have an adverse impact on the service provider’s ability to
meet the requirements of regulation 16(1); and

(ii) will
provide reliable and effective oversight of each service.

Duty to report the appointment of manager to service
provider

40. On the
appointment of a manager in accordance with regulation 37(1), the
responsible individual must give notice to the service provider
of—

(a) the
name of the person appointed, and

(b) the
date on which the appointment is to take effect.

Duty to report appointment of manager to the
workforce and service regulators

41.—(1)(1) On the appointment of
a manager in accordance with regulation 37(1), the responsible
individual must give notice to SCW and to the service regulator
of—

(a) the
name, date of birth and SCW registration number of the person
appointed, and

(b) the
date on which the appointment is to take effect.

(2) In a case where the
service provider is an individual and the service regulator has
agreed to the service provider managing the service, the service
provider must give notice to SCW of—

(a) the
name, date of birth and SCW registration number of the service
provider, and

(b) the
date from which the service provider is to manage the service.

Arrangements when manager is absent

42.—(1)(1) The responsible
individual must put suitable arrangements in place to ensure that
the service is managed effectively at any time when there is no
manager or when the manager is not present at the service.

(2) If there is no manager or
the manager is not present at the service for a period of more than
28 days, the responsible individual must—

(a)
notify the service provider and the service regulator; and

(b)
inform them of the arrangements which have been put in place for
the effective management of the service.

Visits

43.—(1)(1) The responsible
individual must—

(a)
visit the premises from which the service is provided;

(b) meet
with members of staff who are employed to provide the service in
relation to each place in respect of which the responsible
individual is designated; and

(c) meet
with individuals for whom advocacy is being provided in relation to
each such place.

(2) The frequency of such
visits and meetings is to be determined by the responsible
individual having regard to the statement of purpose but must be at
least every three months.

PART 12

Requirements on responsible individuals for
ensuring effective oversight of the service

Oversight of adequacy of resources

44.—(1)(1) The responsible
individual must report to the service provider on the adequacy of
the resources available to provide the service in accordance with
the requirements on service providers in Parts 3 to 15.

(2) Such reports must be made
on a quarterly basis.

(3) But this requirement does
not apply where the service provider is an individual.

Other reports to the service provider

45.—(1)(1) The responsible
individual must, without delay, report to the service
provider—

(a) any
concerns about the management or provision of the service;

(b) any
significant changes to the way the service is managed or
provided;

(c) any
concerns that the service is not being provided in accordance with
the statement of purpose for the service.

(2) But this requirement does
not apply where the service provider is an individual.

Engagement with individuals and others

46.—(1)(1) The responsible
individual must put suitable arrangements in place for obtaining
the views of—

(a)
individuals,

(b) any
representatives of those individuals,

(c)
service commissioners, and

(d)
staff employed at the service,

on the quality of advocacy provided and how this can
be improved.

(2) The responsible
individual must report the views obtained to the service provider
so that these views can be taken into account by the service
provider when making any decisions on plans for improvement of the
quality of advocacy provided.

PART 13

Requirements on responsible individuals for
ensuring the compliance of the service

Duty to ensure there are systems in place to record
incidents and complaints

47. The
responsible individual must ensure that there are effective systems
in place to record incidents, complaints and matters on which
notifications must be made in accordance with regulations 32 and
54.

Duty to ensure there are systems in place for keeping
of records

48. The
responsible individual must ensure that there are effective systems
in place in relation to the keeping of records, which include
systems for ensuring the accuracy and completeness of records which
are required to be kept by regulation 31.

Duty to ensure policies and procedures are up to
date

49. The
responsible individual must put suitable arrangements in place to
ensure that the service provider’s policies and procedures
are kept up to date, having regard to the statement of purpose.

PART 14

Requirements on responsible individuals for
monitoring, reviewing and improving the quality of the service

Quality of service review

50.—(1)(1) The responsible
individual must put suitable arrangements in place to establish and
maintain a system for monitoring, reviewing and improving the
quality of the service.

(2) The system established
under paragraph (1) must make provision for the quality of the
service to be reviewed as often as required but at least every six
months.

(3) As part of any review
undertaken, the responsible individual must make arrangements
for—

(a)
considering the outcome of the engagement with individuals and
others, as required by regulation 46 (engagement with individuals
and others);

(d)
considering the outcome of any audit of the accuracy and
completeness of records.

(4) On completion of a review
of the quality of service in accordance with this regulation, the
responsible individual must prepare a report to the service
provider which must include—

(a) an
assessment of the standard of advocacy provided, and

(b)
recommendations for the improvement of the service.

(5) But the requirement in
paragraph (4) does not apply where the service provider is an
individual.

Statement of compliance with the requirements as to
standards of advocacy

51.—(1)(1) The responsible
individual must prepare the statement required to be included in
the annual return under section 10(2)(b) of the Act, in so far as
it relates to the place or places in respect of which the
responsible individual has been designated.

(2) When preparing the
statement, the responsible individual must have regard to the
assessment of the standard of advocacy which is contained in a
report prepared in accordance with regulation 50(4).

PART 15

Other requirements on responsible
individuals

Support for staff raising concerns

52. The
responsible individual must ensure that the provider’s
whistleblowing policy is being complied with and that the
arrangements to enable and support people working at the service to
raise such concerns are being operated effectively.

Duty of candour

53. The
responsible individual must act in an open and transparent way
with—

(a)
individuals,

(b) any
representatives of those individuals.

Notifications

54.—(1)(1) The responsible
individual must notify the service regulator of the events
specified in Schedule 4.

(2) The notifications
required by paragraph (1) must include details of the event.

(3) Unless otherwise stated,
notifications must be made without delay and in writing.

(4) Notifications must be
made in such manner and in such form as may be required by the
service regulator.

PART 16

Offences

Offences – service providers

55.—(1)(1) It is an offence for
a service provider to fail to comply with a requirement of any of
the provisions specified in paragraph (2)([16]).

(a)
without delay, give written notification to the service regulator
of their appointment and the reasons for their appointment;

(b)
within 28 days of their appointment, notify the service regulator
of their intentions regarding the future operation of the
service.

.

Death of service provider

58.—(1)(1) Where a service
provider who is an individual has died, the personal
representatives of the individual must—

(a)
without delay, give written notification of the death to the
service regulator;

(b)
within 28 days of the death, notify the service regulator of their
intentions regarding the future operation of the service.

(2) The personal
representatives of the individual may act in the capacity of the
service provider for a period not exceeding 28 days or for such
longer period (not exceeding one year) as the service regulator may
agree.

(3) Where the personal
representatives are acting in the capacity of the service provider
in accordance with paragraph (2), Part 1 of the Act applies with
the following modifications—

(aa) where the personal representatives of a
service provider who has died are acting in the capacity of the
service provider, be one of the personal representatives;.

PART 18

Regulations under section 21(5) of the Act

Designation of responsible individual by Welsh
Ministers

59. The Welsh
Ministers (instead of a service provider) may designate an
individual to be a responsible individual, despite the requirements
of section 21(2) of the Act not being met in respect of the
individual, in the following circumstances—

(a) the
service provider is an individual who has died and the personal
representatives of the service provider have notified the service
regulator that they do not intend to make an application under
section 11(1)(c) of the Act;

(b) the
service provider is an individual and they have notified the
service regulator—

(i) that they
are no longer able to comply with their duties as a responsible
individual, and

(ii) the
reasons for this being the case;

(c) the
service provider is a corporate body or partnership and they have
notified the service regulator—

(i) that the
individual designated by the service provider as the responsible
individual is no longer able to comply with their duties as a
responsible individual,

(ii) the
reasons for this being the case, and

(iii) that there
is no other individual who is eligible to be a responsible
individual and who is able to comply with the duties of a
responsible individual.

Name

Minister for Children,
Older People and Social Care, under authority of the Cabinet for
Health and Social Services, one of the Welsh Ministers

Date

SCHEDULE 1 Regulation 24

PART 1

Information and documents to be available in
respect of persons working in regulated services

1. Proof of
identity including a recent photograph.

2. Where required
for the purposes of an exempted question in accordance with section
113A(2)(b) of the Police Act 1997([19]),
a copy of a valid criminal record certificate issued under section
113A of that Act together with, after the appointed day and where
applicable, the information mentioned in section 30A(3) of the
Safeguarding Vulnerable Groups Act 2006 (provision of barring
information on request).

3. Where required
for the purposes of an exempted question asked for a prescribed
purpose under section 113B(2)(b) of the Police Act 1997, a copy of
a valid enhanced criminal record certificate issued under section
113B of that Act together with, where applicable, suitability
information relating to children (within the meaning of section
113BA(2) of that Act) or suitability information relating to
vulnerable adults (within the meaning of section 113BB(2) of that
Act).

4. Two written
references, including a reference from the last employer, if
any.

5. Where a person
has previously worked in a position whose duties involved work with
children or vulnerable adults, so far as reasonably practicable,
verification of the reason why the employment or position
ended.

6. Documentary
evidence of any relevant qualification.

7. Where
relevant, documentary evidence of registration with SCW.

8. A full
employment history, together with a satisfactory written
explanation of any gaps in employment.

9. Evidence of
satisfactory linguistic ability for the purposes of providing
advocacy to those individuals for whom the worker is to provide
it.

10. Details of
registration with or membership of any professional body.

PART 2

Interpretation of Part 1

11. For the
purposes of paragraphs 2 and 3 of Part 1 of this
Schedule—

(a) if
the person to whom the certificate relates is not registered with
the DBS update service, a certificate is only valid if—

(i) it has
been issued in response to an application by the service provider
in accordance with regulation 24(3) or (6); and

(ii) no more
than three years have elapsed since the certificate was issued;

(b) if
the person to whom the certificate relates is registered with the
DBS update service, the certificate is valid regardless of when it
was issued.

SCHEDULE 2 Regulation 31

Records to be kept

1. In respect of
each individual, records of—

(a)
advocacy plans and revised advocacy plans,

(b)
correspondence, reports and records in relation to the matters for
which advocacy is provided and the outcome.

2. A record of
any charges by the service provider to individuals for the
provision of advocacy and any additional services.

3. A record of
all complaints made by individuals or their representatives or by
persons working at the service about the operation of the service,
and the action taken by the service provider in respect of any such
complaint.

4. A record of
all persons working at the service, which must include the
following matters—

(a) the
person’s full name, address, date of birth, qualifications
and experience,

(b) a
copy of the person’s birth certificate and passport (if
any),

(c) a
copy of each reference obtained in respect of the person,

(d) the
dates on which the person commences and ceases to be so
employed,

(e) the
position the person holds at the service, the work the person
performs and the number of hours for which the person is employed
each week,

(f)
records of disciplinary action and any other records in relation to
the person’s employment,

(g) a
record of the date of a DBS certificate and whether there was any
action taken as a result of the content of the certificate.

SCHEDULE 3 Regulation 32

Notifications by the service provider

1. Any revision
to the statement of purpose, 28 days prior to the revised statement
of purpose coming into effect.

2. Service
provider (individual or organisation) changes their name.

3. Where the
service provider is a company, any change in the directors of the
company.

4. Where the
service provider is an individual, the appointment of a trustee in
bankruptcy in relation to that individual.

5. Where the
service provider is a body corporate or partnership, the
appointment of a receiver, manager, liquidator or provisional
liquidator in relation to that company or partnership.

6. Where the
service provider is a partnership, death of one of the
partners.

7. Where the
service provider is a partnership, any change in the partners.

8. Expected
absence of the responsible individual for 28 days or more, 7 days
prior to commencement of the absence.

9. The unexpected
absence of the responsible individual, no later than 7 days after
the commencement of the absence.

10. Unexpected
absence of the responsible individual for 28 days or more, where no
prior notification has been given, immediately on the expiry of 28
days following the commencement of the absence.

11. Return from
absence of the responsible individual.

12. The
responsible individual ceases, or proposes to cease, being the
responsible individual for the service.

13. Any abuse or
allegation of abuse in relation to an individual that involves the
service provider and/or a member of staff.

14. Service
provider, responsible individual or appointed manager convicted of
a criminal offence.

15. Any
allegation of misconduct by a member of staff.

16. Any incident
reported to the police.

17. Any events
which prevent, or could prevent, the provider from continuing to
provide the service safely.

18. Any proposal
to change the address of the principal office, 28 days prior to the
change taking place.

19. Any referral
to the DBS pursuant to the Safeguarding Vulnerable Groups Act
2006([20]).

20. Where the
service provider, responsible individual or appointed manager is
charged with any offence specified in the Schedule to the
Safeguarding Vulnerable Groups Act 2006 (Prescribed Criteria and
Miscellaneous Provisions) Regulations 2009([21]),
notice of the offence charged and the place of charge.

([6])
Section 174 of the 2014 Act requires a local authority to establish
a procedure for considering representations (including complaints)
made to the authority in relation to a range of its social services
functions in so far as they are exercisable in relation to a
child.

([7])
Section 176 of the 2014 Act requires a local authority to establish
a procedure for considering representations (including complaints)
about the discharge of its functions under Parts 3 to 7 of the 2014
Act in relation to children or young persons who have previously
been looked after and related other young persons.

([8])
Paragraph 7(3) of Schedule 1 to the 2016 Act requires that a
service can only be specified as an advocacy service for the
purposes of the 2016 Act if it is a service which is carried on
(whether or not for profit) for the purpose of representing the
views of individuals or assisting individuals to represent those
views, in respect of matters relating to those individuals needs
for care and support (including matters relating to assessing
whether those needs exist).

([9])
2007 c. 29.

([10])
S.I. 1978/1910.

([11])
2000 c. 43.

([12])
2004 c. 31.

([13])
2010 c. 15.

([14])
2005 c. 9.

([15])
See section 67(3) of the Act for the definition of Social
Care Wales as “SCW”.

([16])
For penalties upon conviction for an offence under this regulation,
see section 51(1) of the Act.

([17])
For penalties upon conviction for an offence under this regulation,
see section 51(1) of the Act.

([18])
“Appointed person” has the same meaning as in section
30 of the Act.